entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
not becoming an empty box (without business operations). The intermediaries are required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2
assets, and other assets of essentially the same nature; Loan participations; Loan assignments; Credit derivatives for non-hedging purposes i.e. protection seller CDS; Please note that this is a non
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As
acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing and settlement in all trading transactions which have occured. If one of the counterparties does not perform
acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing and settlement in all trading transactions which have occured. If one of the counterparties does not perform